Director, SOX Compliance-Business & IT Controls (HYBRID-Richmond, VA)

Position Description

The Director - SOX Compliance Business & IT Controls is responsible for overseeing the design, execution, and continuous improvement of the enterprise-wide Sarbanes-Oxley ("SOX") compliance program across business processes and IT controls. This role ensures that internal controls over financial reporting ("ICFR") are designed effectively and operating as intended, in alignment with Committee of Sponsoring Organizations of the Treadway Commission ("COSO") and Control Objectives for Information and Related Technologies ("COBIT") frameworks. As the SOX compliance leader, the role partners closely with IT, Finance, Operations, Internal Audit, and external auditors to ensure the integrity of financial reporting and compliance with regulatory requirements. The Director will also play a key role in shaping the organization's control environment in alignment with evolving technology and business needs.

Position Accountabilities

1. Program Oversight

• Lead the enterprise-wide SOX compliance program covering both business process controls ("BPCs") and IT general controls ("ITGCs") that aligns with best practices and regulatory requirements.
• Lead the SOX compliance program's annual scoping, risk assessments, control testing, control rationalization and remediation, as required.
• Ensure the ITGC framework aligns with COSO and COBIT standards.
• Lead and mentor a team of professionals, fostering a high-performance culture.
• Develop and maintain documentation for Business process and IT controls, including narratives, flowcharts, and risk/control matrices, ensuring consistency across processes and businesses.
• Own and maintain the SOX Compliance program Governance Risk and Compliance ("GRC") platform.

1. Business Process Controls Management

• Collaborate with Finance, Business, and Operations, as well as first, second and third lines of defense teams to ensure key business process controls are designed effectively.
• Provide thought leadership on the development and implementation of effective business process controls.
• Manage the Finance organization's first line of defense activities, in coordination with the 1FLOD team.

1. IT Controls and Systems Oversight

• Provide thought leadership and oversee in coordination with the IT team, the development, implementation, and management of IT SOX compliance standards, ensuring robust IT controls.
• Co-ordinate with the IT management and team, as well as first, second and third lines of defense, to ensure effective design of ITGCs.

1. Governance & Continuous improvement

• Serve as primary liaison between management, internal auditors, external auditors, and other vendors engaged in the execution of the SOX compliance program.
• Provide strategic guidance on SOX considerations on automations, optimization, and emerging technologies.
• Report regularly to senior leadership and governance committees on SOX status, risks, and mitigation strategies.
• Conduct ongoing enterprise-wide SOX training for business and process owners.
• Monitor regulatory developments and industry trends to ensure the SOX program remains current and effective.
• Identify opportunities to streamline controls, eliminate redundancies, and strengthen risk mitigation.
• Lead or participate in special projects, as required and assigned.

Organizational Relationship

This position reports to the Corporate Controller.

Position Qualifications

Education & Experience

• Bachelor's degree in Information systems, Accounting, Finance, or related field; advanced degree or certifications (e.g., CISA, CPA, CIA) preferred.
• 10+ years of experience in SOX compliance, IT audit, or internal controls, with at least 5 years in a leadership role.

Knowledge & Skills

• Deep understanding of Business process controls, ITGCs, application controls, bank IT platforms and associated systems.
• Strong understanding of financial reporting, business process and IT internal controls, and SOX Regulatory requirements.
• Experience with GRC platforms and audit management tools.
• Strong leadership, communication, and stakeholder engagement skills.
• Ability to manage complex projects and drive cross-functional collaboration.
• Familiarity with cloud infrastructure, cybersecurity frameworks, and data governance.
• Strategic thinker with a proactive approach to risk management and control design.

Salary offered will be based on several factors including but not limited to education, work experience, certifications, etc. This position is also eligible to participate in either an applicable incentive compensation plan for the position or a discretionary profit sharing bonus program. General information on our comprehensive benefits package can be found by visiting https://www.atlanticunionbank.com/about/careers/benefits.

We are proud to be an Equal Employment Opportunity employer. We maintain a drug-free workplace.